DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Trinity Wealth Management LLC
Latest filing Mar 27, 2026
First filing on the tape Jun 25, 2014 · 19 filings
SEC status approved since Jul 8, 2014
RAUM
$425M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$425M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$213M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$425M as of Mar 27, 2026
Mar 26, 2015$138M then
HNW client RAUM$409M as of Mar 27, 2026
Mar 28, 2018$108M then
State-registered IARs (5.B.3)4 as of Mar 27, 2026
Mar 26, 20153 then
Employees (5.A)4 as of Mar 27, 2026
Mar 26, 20154 then
Private funds: no history
RAUM +19% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $213MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $453,757derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$409M96%
- Individuals$16.1M3.8%
- Individual clients
- 21reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 937reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert James WasselPersonal Financial Specialist | Cincinnati, Oh | Jan 4, 2010 | 22 y | 2 |
| John Brock DexterCertified Financial Planner | Cincinnati, Oh | Jan 4, 2010 | 30 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months2 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount2 left over 36 months
Left, latest
- Charles Nicholas Kuhn to Arg Private Wealth, LLCJul 6, 2026 · Other
- Luke Brennan Fleming to Arg Private Wealth, LLCJul 6, 2026 · Other
Joined, latest
- Charles Nicholas Kuhn from Ojm Group, LLCNov 3, 2010 · Other
- Robert James Wassel from Ojm Group, LLCJan 4, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Arg Private Wealth, LLCJul 6, 2026 · Cincinnati, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Robert Wassel · Cco / Managing Membercontrolsince 11/2009 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 2 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 925 to 937Mar 25, 2025 to Mar 27, 2026
- Discretionary RAUM · $357M to $425MMar 25, 2025 to Mar 27, 2026
- HNW RAUM · $343M to $409MMar 25, 2025 to Mar 27, 2026
- Individual RAUM · $14.1M to $16.1MMar 25, 2025 to Mar 27, 2026
- RAUM · $357M to $425MMar 25, 2025 to Mar 27, 2026
- Accounts · 904 to 925Mar 22, 2024 to Mar 25, 2025
- Individual clients · 31 to 21Mar 22, 2024 to Mar 25, 2025
- Financial planning clients · 51-100 to 51-100Mar 22, 2024 to Mar 25, 2025
- Discretionary RAUM · $300M to $357MMar 22, 2024 to Mar 25, 2025
- HNW RAUM · $282M to $343MMar 22, 2024 to Mar 25, 2025
- Individual RAUM · $18.0M to $14.1MMar 22, 2024 to Mar 25, 2025
- RAUM · $300M to $357MMar 22, 2024 to Mar 25, 2025
- Accounts · 650 to 904Mar 23, 2023 to Mar 22, 2024
- Advisory employees · 3 to 4Mar 23, 2023 to Mar 22, 2024
- HNW clients · 72 to 73Mar 23, 2023 to Mar 22, 2024
- Individual clients · 26 to 31Mar 23, 2023 to Mar 22, 2024
- State-registered IARs · 3 to 4Mar 23, 2023 to Mar 22, 2024
- Other offices · 2 to 0Mar 23, 2023 to Mar 22, 2024
- Discretionary RAUM · $273M to $300MMar 23, 2023 to Mar 22, 2024
- HNW RAUM · $258M to $282MMar 23, 2023 to Mar 22, 2024
- Individual RAUM · $14.7M to $18.0MMar 23, 2023 to Mar 22, 2024
- RAUM · $273M to $300MMar 23, 2023 to Mar 22, 2024
- Accounts · 98 to 650Mar 23, 2022 to Mar 23, 2023
- HNW clients · 55 to 72Mar 23, 2022 to Mar 23, 2023
- Individual clients · 43 to 26Mar 23, 2022 to Mar 23, 2023
- Discretionary RAUM · $270M to $273MMar 23, 2022 to Mar 23, 2023
- HNW RAUM · $227M to $258MMar 23, 2022 to Mar 23, 2023
- Individual RAUM · $43.0M to $14.7MMar 23, 2022 to Mar 23, 2023
- RAUM · $270M to $273MMar 23, 2022 to Mar 23, 2023
- Accounts · 108 to 98Mar 30, 2021 to Mar 23, 2022
- Advisory activities · 3 to 2Mar 30, 2021 to Mar 23, 2022
- HNW clients · 49 to 55Mar 30, 2021 to Mar 23, 2022
- Individual clients · 59 to 43Mar 30, 2021 to Mar 23, 2022
- Discretionary RAUM · $233M to $270MMar 30, 2021 to Mar 23, 2022
- HNW RAUM · $162M to $227MMar 30, 2021 to Mar 23, 2022
- Individual RAUM · $70.9M to $43.0MMar 30, 2021 to Mar 23, 2022
- RAUM · $233M to $270MMar 30, 2021 to Mar 23, 2022
- Accounts · 95 to 108Jun 17, 2020 to Mar 30, 2021
- HNW clients · 44 to 49Jun 17, 2020 to Mar 30, 2021
- Individual clients · 51 to 59Jun 17, 2020 to Mar 30, 2021
Signals
5 dated events
- Charles Nicholas Kuhn left Trinity Wealth Management Llc for Arg Private Wealth, Llc (registered 2026-03-09)Jul 6, 2026 · Advisor changed firm · fact
- Luke Brennan Fleming left Trinity Wealth Management Llc for Arg Private Wealth, Llc (registered 2026-03-09)Jul 6, 2026 · Advisor changed firm · fact
- 2 advisors left Trinity Wealth Management LLC (Cincinnati, OH) for Arg Private Wealth, LLC on the same dayJul 6, 2026 · Team lift-out · derived
- Brock John Dexter (Managing Member) no longer on Schedule A of Trinity Wealth Management Llc (listed 2022-03-23, absent 2023-03-23)Mar 23, 2023 · Control person left · inference
- Trinity Wealth Management Llc filed its initial SEC registration (Form ADV)Jun 25, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 513-273-0246reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 513-794-2870reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/TRINITY-WEALTH-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- GOTRINITYWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 513-794-2870reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- gotrinitywealth.com/contact-usreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $213Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026